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Forrest James

Emerson Equity LLC
39 Years of Experience
Irvine, CA
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Forrest James is a registered investment advisor at Emerson Equity LLC, based in Irvine, CA, with 39 years of industry experience. Forrest is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Estate Planning, High Net Worth, Insurance Planning, and 3 more. Their firm serves 620 clients with $320M in assets under management.

Emerson Equity LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
118 advisors
Number of Clients
620 clients
Average Client Portfolio
$519K average
Assets Under Management
$321.7M

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Fees are negotiable with a maximum fee of 2.5% charged annually (billed quarterly at up to 0.625% per quarter).

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

9940 Research Drive Suite 200, Irvine, CA, 92618

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2026
Pending
Customer Dispute
January 2024
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Forrest is an agent for Blue Shield Health Insurance (though not actively seeking business), and potentially sells life insurance and fixed annuities, dedicating a few hours per week to the latter. Forrest is also a real estate agent, spending minimal time on this, and an LLC member of Irvine Advisors, LLC, which is used for marketing purposes and takes nearly full-time.

Employment History
Current Registrations
Emerson Equity LLC
November 2013 - Present · 12 yrs 11 mos
Emerson Equity LLCBroker
November 2013 - Present · 12 yrs 11 mos
Previous Registrations
Ari Financial Services, INC.Broker
October 2013 - November 2013 · 1 mo
Mapleton Capital Management, LLC
April 2001 - December 2013 · 12 yrs 8 mos
Mapleton Capital Management, LLC
April 2001 - December 2005 · 4 yrs 8 mos
Ocean Park Capital Management, LLC
April 2001 - December 2013 · 12 yrs 8 mos
The Investment Center, INC.Broker
March 2001 - December 2004 · 3 yrs 9 mos
The Investment Center, INC.Broker
May 1995 - November 1999 · 4 yrs 6 mos
Prudential Securities IncorporatedBroker
December 1985 - May 1995 · 9 yrs 5 mos
State Registrations25 states
AZCACOCTFLGAILINLAMAMDMINCNENJNVNYOHPASCTXUTVAWAWI
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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